Financial Markets Authority - Latest News [Page 1]

Consultation on KiwiSaver fees methodology

Tuesday, 11 April 2017, 3:54 pm | Financial Markets Authority

KiwiSaver members will be able to see the dollar cost of the fees they are paying in their annual statements next year. The Ministry of Business and Innovation and Employment (MBiE) is currently amending the Financial Markets Conduct Regulations ... More >>

Guilty plea in insider trading case

Tuesday, 11 April 2017, 3:41 pm | Financial Markets Authority

An individual today pleaded guilty at the Auckland District Court to one charge of insider trading under section 243 Financial Markets Conduct Act - namely, being an information insider advising or encouraging another person to trade. More >>

Wise-up about retirement now so you can relax and enjoy it

Wednesday, 5 April 2017, 9:44 am | Financial Markets Authority

The key ingredients that make it more likely you can relax and enjoy your life after work have been revealed in an FMA survey of older New Zealanders. More >>

FMA confirms short-term derivatives to be licensed

Monday, 3 April 2017, 9:13 am | Financial Markets Authority

The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014. More >>

FMA releases AFA information report

Monday, 27 March 2017, 9:47 am | Financial Markets Authority

The Financial Markets Authority today published its third statistical report on Authorised Financial Advisers (AFAs) in New Zealand. The FMA requires AFAs to submit an annual information return each year. More >>

FMA Statement on Forestlands

Wednesday, 22 March 2017, 4:02 pm | Financial Markets Authority

The FMA has received complaints from various investors in Forestlands. More >>

FMA files charges under the Financial Service Providers Act

Thursday, 16 March 2017, 5:26 pm | Financial Markets Authority

The FMA has filed charges against Mr Patterson in the Christchurch District Court. The FMA alleges Mr Patterson was, or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers ... More >>

FMA files charges for insider trading

Thursday, 9 March 2017, 10:11 am | Financial Markets Authority

The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). ... More >>

FMA updates guidance on KiwiSaver sales and advice

Wednesday, 8 March 2017, 7:55 am | Financial Markets Authority

The Financial Markets Authority today released updated guidance on sales and advice for KiwiSaver providers. KiwiSaver is an important part of New Zealanders’ future financial security and for some it is their first and only investment. This makes ... More >>

FMA statement on the Warminger decision from Justice Venning

Friday, 3 March 2017, 2:28 pm | Financial Markets Authority

“The FMA is pleased with the outcome of the proceedings. Market manipulation threatens our core objective of promoting fair, efficient and transparent financial markets. For investors to participate confidently in our markets we need to target and respond ... More >>

The FMA: What to expect from your financial provider

Tuesday, 28 February 2017, 9:26 am | Financial Markets Authority

The Financial Markets Authority (FMA) has today published a series of pointers for customers to use when they are dealing with financial services providers. More >>

FMA publishes its first Conduct Outcomes Report

Monday, 20 February 2017, 11:02 am | Financial Markets Authority

The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016. More >>

FMA updates Strategic Risk Outlook

Wednesday, 15 February 2017, 11:40 am | Financial Markets Authority

Today the Financial Markets Authority published its updated Strategic Risk Outlook (SRO) . This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent ... More >>

FMA lays charges under the Crimes Act

Wednesday, 8 February 2017, 4:47 pm | Financial Markets Authority

An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act. More >>

FMA warns firms under "the Act"

Wednesday, 8 February 2017, 12:33 pm | Financial Markets Authority

The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act). More >>

The FMA’s guide designed to help focus on good conduct

Thursday, 2 February 2017, 10:37 am | Financial Markets Authority

Today the FMA published the final version of the guide into the FMA’s view of conduct. The FMA has also published submissions from industry, considered as part of the consultation process. More >>

Consultation complete on FMA’s conduct guide

Tuesday, 13 December 2016, 11:21 am | Financial Markets Authority

Earlier this year the FMA consulted on a guide on good conduct, signalling to New Zealand financial services providers what to expect from interaction and engagement with the conduct regulator. More >>

FMA releases AML/CFT monitoring report

Thursday, 8 December 2016, 10:48 am | Financial Markets Authority

The Financial Markets Authority (FMA) has today published its third annual AML/CFT monitoring report. More >>

End of the beginning for the new financial services regime

Thursday, 1 December 2016, 12:32 pm | Financial Markets Authority

A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since ... More >>

FMA releases Audit Quality Monitoring report

Monday, 28 November 2016, 12:26 pm | Financial Markets Authority

The FMA’s 2016 Audit Quality Report reflects that improvements continue to be made in audit quality. The report shows the sector is increasingly aligned with the expectations of the FMA and international auditing standards and global best practice. However, ... More >>

 

 

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